Exploring the usefulness of structural-functional approaches to systematically assess the functionality of governance arrangements for natural resource management planning in two Australian case studies Ruth Margaret Potts (n9222952) Bachelor of Urban and Environmental Planning (Honours 1A) Supervisors: Dr. Karen Vella1, Professor Doug Baker1, Professor Neil Sipe2, and Professor Allan Dale3 1 Queensland University of Technology 2 University of Queensland 3 James Cook University A thesis submitted in fulfillment of the requirements for the Degree of Doctorate of Philosophy Civil Engineering, and the Built Environment, Property and Planning Science and Engineering Faculty Urban and Regional Planning Discipline Queensland University of Technology 26th March 2015 Abstract Natural resources worldwide continue to be degraded despite significant investments in management and conservation activities. The governance arrangements between institutions involved in natural resource management (NRM) are a determinant of the success of NRM activities. While a limited number of theoretically robust evaluative frameworks exist to support analysis and reform of governance arrangements for NRM to improve outcomes, none are currently used to inform or reform Australia’s NRM governance system. Rather, evaluative measures used to analyse NRM in Australia tend to focus on inputs, and outputs, rather than the structures, functions and their interactions to deliver outcomes of governance. The thesis explores structural-functional approaches as a lens for evaluation of complex planning governance systems, and develops the Governance Systems Analysis (GSA) framework. The GSA framework is a theoretically robust, and practice oriented evaluative framework based on structural-functional approaches, planning and policy theories. Using a layered case study approach, this thesis examines the relationship between governance system structures, functions, and NRM planning outcomes, through the lens of structural-functionalism. The multiscale governance arrangements for NRM planning in Cape York Peninsula and the Wet Tropics are described based on iterative desktop analyses, observations of key actors within the two regions, numerous unstructured conversations, and 15 semi-structured interviews. Thematic analysis was employed to synthesise and determine meaning from the data, while the Delphi technique was applied to validate the conclusions of the analysis and accuracy of the assessment. The three key findings of this research were as follows. Firstly, the thesis demonstrates that through the GSA framework, structural-functional approaches can be used to analyse complex and multiscalar governance systems in a NRM planning context. Secondly, the health of the relationship between structures and functions in governance systems can significantly support or impede the system 2 from delivering is desired outcomes. A comparison of the NRM governance systems in Cape York Peninsula and the Wet Tropics demonstrates that where NRM planning structures and functions are mature and their relationships relatively strong, then the system is more capable of delivering its desired decision-making outcomes than a younger governance system, with weaker relationships between structures and functions. Finally, three lessons for governance system evaluation more broadly emerged, emphasising the importance of taking a collaborative and participatory approach, building relationships between the researcher and participants, and engaging with a diverse array of participants to ensure assessment accuracy. 3 Statement of originality The work contained in this thesis has not been previously submitted to meet requirements for an award at this or any other higher education institution. To the best of my knowledge and belief, the thesis contains no material previously published or written by another person except where due reference is made. QUT Verified Signature Date 26/3/15 4 Table of Contents Abstract .............................................................................................................. 2 Statement of originality .................................................................................... 4 Table of Contents ............................................................................................... 5 Personal acknowledgments .............................................................................. 9 Funding acknowledgements ........................................................................... 10 List of published works ................................................................................... 11 List of figures .................................................................................................... 12 List of tables ..................................................................................................... 12 List of abbreviations ........................................................................................ 15 Chapter 1: Introduction ................................................................................... 17 1.1 Introduction ..................................................................................................................................... 17 1.2 Statement of problem .................................................................................................................. 17 1.3 Research questions and thesis overview ............................................................................. 22 1.4 Significance of the research ....................................................................................................... 26 1.4.1 Theoretical significance ................................................................................................................. 26 1.4.2 Practical significance ...................................................................................................................... 26 1.4.3 Empirical significance ..................................................................................................................... 27 1.5 Thesis structure .............................................................................................................................. 27 Chapter 2: Research methods ......................................................................... 30 2.1 Introduction ..................................................................................................................................... 30 2.2 Research Approach ....................................................................................................................... 30 2.3 Research design .............................................................................................................................. 31 2.4 Case study approach and selection ........................................................................................ 34 2.5 Developing the Governance Systems Analysis Framework ......................................... 36 2.6 Applying the Governance Systems Analysis Framework .............................................. 36 2.6.1 Step One: context ............................................................................................................................... 36 2.6.2 Step Two: desired system outcomes ......................................................................................... 38 2.6.3 Step Three: describing the system’s key structural and functional aspects ........... 39 2.6.4 Step Four: identifying priorities for governance reform................................................. 45 2.7 Research limitations ..................................................................................................................... 46 5 2.8 Conclusions ...................................................................................................................................... 47 Chapter 3: Literature review – understanding the complexities of natural resource management and its evaluation ..................................................... 48 3.1 Introduction ..................................................................................................................................... 48 3.2 What are natural resources and natural resource management? ............................. 48 3.3 Why is natural resource management complex? .............................................................. 50 3.3.1 Interacting multidimensional and complex systems ........................................................ 50 3.3.2 Devolved governance arrangements ....................................................................................... 51 3.3.3 Diversity of stakeholders and how to engage them .......................................................... 53 3.4 Understanding governance........................................................................................................ 56 3.4.1 Conceptualisation of natural resource management governance in this thesis.. 59 3.5 Evaluative frameworks ............................................................................................................... 63 3.6 Use of best practice principles of governance in evaluation ........................................ 68 3.7 Evaluation frameworks currently used to assess Australian natural resource management .................................................................................................................................................... 70